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This role requires the incumbent to also provide administrative, regulatory and policy support across all functional units within the Office of Ethics & Compliance (OEC), as needed. The Senior Ethics & Compliance Specialist/Regulatory Support Manager is a subject matter expert on FDA regulations, the university’s policies, processes, and standards.
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As the Director of Regulatory Compliance (MLRO), you will be working as part of Nium’s global, dynamic Compliance team and will be reporting to the VP Compliance (US). Identify control gaps and lead the implementation of control enhancements to include AML, OFAC, and Regulatory Compliance.
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Partner with the CISO, Chief Privacy Officer and Head of Fe GRC (Governance, Risk & Compliance) to ensure privacy, regulatory, and security requirements are incorporated into all Financial products and roadmaps.
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Senior Ethics & Compliance Specialist Regulatory Support Manager. The Senior Specialist manages daily operations of these two units, including the deployment of technology and web content to support and advance compliance services.
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3+ years of work experience in the financial services industry within the investment operations space or preferably from a large investment bank. The Aladdin platform combines risk analytics with portfolio management, trading, compliance, and investment operations tools on a single platform to power informed decision-making, effective risk management, efficient trading, and operational scale.
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Leading analytics related to the BSA/AML compliance controls for regulatory examinations, tuning and optimization of controls. Partner with Compliance Program team and Compliance Product team to facilitate the dashboarding and reporting design conversations for AML, Sanctions and KYC controls.
$145,000 - $192,500 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The Investment Program at Golden 1 Credit Union supports the local community with a complete menu of financial services. Employment is with Golden 1 Credit Union, however, in accordance with regulatory requirements, LPL Financial would hold your securities/insurance licenses.
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Responsible for overseeing tax planning and compliance functions for ultra-high net worth individuals and their families, with a particular emphasis on clients in the financial services sector, such as hedge funds, private equity, and other investment-related individuals.
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3-4 years of compliance operations experience, preferably both in traditional financial institutional and FinTech environments. Knowledge of legal and regulatory requirements that apply to financial institutions, as well as the research skills necessary to understand new or evolving regulation.
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Block, Inc. (NYSE: SQ) is a global technology company with a focus on financial services. Design, build, integrate and enhance batch inference services and tooling that support our LLM Copilot and Autopilot use cases.
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The manager will serve as a subject matter expert on complex system and projects and engages all levels of staff and management in the technology and business units to provide ongoing management of mission critical systems ensuring compliance with BSA/AML regulatory requirements.
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Generally 7+ years experience in financial services, including experience conducting a valuation of various financial derivatives and other complex securities for financial reporting, tax and regulatory.
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At least 5 years of successful sales experience in the financial services industry. Series 65 or combination of Series 7 and Series 66 license required unless candidate holds one of the following credentials: Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA) or Chartered Investment Consultant (CIC.
$100,000 - $150,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Building, designing, and operating testing plans to review the compliance of Parafin's financial services products. 5+ years of experience in regulatory compliance, business banking, or commercial card.
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Lead cross-functional teams (including Product, Engineering, Data Science, Compliance, Counsel, Law Firms, Regulatory Consultants and bank partners) involved in program, providing direction, support, and guidance to ensure alignment with program objectives and timelines.
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financial services regulatory compliance jobs Title: relationship in San Francisco, East-hartford, Connecticut
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